非关税壁垒如何影响污染物排放  

How Non-tariff Barriers Aff ect Pollutant Emissions

作　　者：顾振华[1] 高翔 徐雨婧 GU Zhenhua;GAO Xiang;XU Yujing

机构地区：[1]上海商学院,上海200235 [2]上海大学,上海200444

出　　处：《国际商务研究》2023年第3期1-14,共14页International Business Research

基　　金：国家自然科学基金青年项目(项目编号:71603155);上海高校青年教师培养资助计划(项目编号:ZZsxy16010)。

摘　　要：贸易保护与环境保护事关中国经济可持续发展的两大重要议题。为了考察二者之间的关系,本文首先以高低污染生产技术可内生选择为切入点,在幼稚产业保护模型中加入污染技术更新成本,构建了一个理论框架探究非关税壁垒影响企业污染物排放的机制及其效应;然后利用1998~2012年中国工业企业数据从实施频率、覆盖范围和保护力度3个方面进行实证检验。研究发现:持续提高非关税壁垒的实施频率,并扩大非关税壁垒的覆盖范围最终会增加企业污染排放强度;非关税壁垒保护力度与企业污染排放强度呈现U型关系,且该关系在非国有企业、中西部地区和高污染行业样本中更为突出;生产技术是联系政府政策和企业行为的关键影响机制,短期、合理的非关税壁垒力度将会促进技术发展,并且减少企业污染排放,但持续加大保护力度则会适得其反。本文研究为致力于贸易开放和节能减排的中国政府和处于深化改革关键期的中国工业提供了重要的政策启示。Trade protection and environmental protection are two important issues concerning sustainable economic development in China.In order to examine the relationship between them,the paper firstly endogenizes firms’choices between high and low-pollution production technology and then establishes a theoretical framework by incorporating the feature of adoption and updating low-pollution production technology into an infant industry protection model.Next,we utilize the 1998~2012 Chinese Industrial Enterprise Database to empirically test theoretically-derived hypotheses from three perspectives of the frequency,scope,and strength of protection policies.The conclusion is that higher frequency and wider scope increase the intensity of pollution monotonically,while the strength of non-tariff barriers exhibits a U-shaped relationship with pollution intensity.Moreover,this U-shaped pattern becomes more prominent for non-state-owned enterprises,firms located in the central and western regions of China,and firms operating in high-polluting industries.Production technology is the key influence mechanism linking government policy and enterprise behavior.Short-term,reasonable nontariff barriers will promote technological development and reduce enterprise pollution emissions,but continued increased protection will disincentivize enterprises with respect to production efficiency improvement,which is counterproductive.Our research hence provides policy implications for the Chinese government regulators,who are committed to trade liberalization and energy conservation,and also for the Chinese industry system,which is in a critical period of deepening reform.

关 键 词：非关税壁垒 专利申请和生产技术 污染排放强度 等价关税率 U型关系 

分 类 号：F741[经济管理—国际贸易] F420[经济管理—产业经济]